Why you should attend
In today's uncertain economic, legal and regulatory environment, companies, their executives, and their counsel need to be proactive in identifying risks and remedying potential issues. Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Using a real-world hypothetical fact pattern throughout the day, expert panels review the many considerations and issues that can and do arise from the beginning to the end: issues to consider before and when commencing an investigation, conducting an investigation, dealing with the regulators, and concluding the investigation. The program is designed to touch on many practical issues arising today: international, data privacy, labor and employment law issues, as well as fundamentals of the investigation. Also new this year: hear from the plaintiffs’ bar as well as defense counsel, in-house counsel and regulators. As they work their way through the hypothetical, the panels will provide you with practical tips, and tools and you will leave the program with a better understanding of how to handle investigations successfully for your clients or company.
What you will learn
- What to do when a potential whistleblower comes forward
- How to conduct an internal investigation, in-house or outside
- Considerations at the outset: nature and scope of the investigation
- Document retention issues
- Plaintiffs’ lawyers considerations: internal self-reporting to the company v. filing with the government
- Issues in international investigations
- Data privacy issues
- The intersection of labor and employment law and internal investigations
- When and how to work with outside experts
- How to deal effectively with auditors
- Whether and when to self-report. The government’s use, evaluation and weighing of internal investigations
- Cooperation with the government
- Concluding the investigation: when to prepare a report and how, corrective actions, cooperation with the government
- Ethical issues: warnings to witnesses, representational issues, the rights of employees, avoiding obstruction, indemnification and advancement (Earn ethics CLE credit!)
- Updated, real-world hypothetical scenario to structure program
- One full hour of ethics
Who should attend
This program is a must-attend event for anyone responsible for corporate investigations: inside and outside counsel, internal auditors, compliance officers, forensic accountants and other experts who handle internal investigations, and government attorneys - anyone who has a stake in this process.
Morning Session: 9:00 a.m. - 12:30 p.m.
9:00 Opening Remarks and Introduction
- Internal investigations and the current environment
- Review of hypothetical fact pattern
N. Kestenbaum, R. Morvillo
9:15 Commencing the Investigation: Considerations at the Outset
- How do you deal with allegations by someone who may be a whistleblower?
- When is an investigation warranted?
- Who should oversee the investigation?
- Who should conduct the investigation? In-house vs. outside counsel
- What is the appropriate scope of the investigation?
- Who should know about the investigation?
- What steps should be taken to preserve documents?
- What are the considerations of the plaintiff’s lawyer?
- How can you manage the costs of an investigation?
S. Peikin (Moderator), D. Anders, M. Beamon, J. Broeckel, R. Guttman, T. Hanusik
11:00 Conducting the Investigation
A. Considerations, Processes and Procedures
- Gathering documents
- Employee interviews
- Employee issues and obligations: advice, rights and liability in light of recent cases
- Former employee interviews
- When should employees or former employees have their own counsel?
- How to deal with counsel for individuals
- Dealing with the auditors
B. Privilege Issues and Ethical Traps in Conducting the Investigation
- Protecting the investigation: Attorney client privilege and work product issues
- Representational issues
- Warnings to witnesses
- How to respond to questions from interviewees
- Avoiding obstruction
- Other ethical dilemmas
R. Morvillo (Moderator), D. Brodsky, M. Delikat, E. Mandelbaum, T. Pritchard
Afternoon Session: 1:45 p.m. - 4:45 p.m.
1:45 Dealing with the Regulators
- The regulators’ perspectives on internal investigations
- Disclosing the investigation to regulators: why, when and how
- Regulators’ perspectives on how companies navigate whistleblower issues. Has Dodd-Frank changed how regulators are handling these issues and what they expect from companies?
- Maintaining a dialogue with the regulators during the investigation
- What will the regulators want to know?
- Cooperation with the government
- Waiver issues
- Public disclosure of results
N. Kestenbaum (Moderator), G. Canellos, C. Mahoney, L. Reisner
3:15 Concluding the Investigation
- Whether and how to self-report
- When to prepare a report
- Alternatives to a written report
- Contents of the report: type, how much detail, facts vs. legal conclusions
- Handling requests to see the report
- Corrective actions
M. Kwan-Gett (Moderator), K. Choo, Joan E. McKown, M. Patel, S. Suh, S.Winer
Janet A. Broeckel
~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
George S. Canellos
~ Acting Director, Division of Enforcement, U.S. Securities and Exchange Commission
Katherine M. Choo
~ Chief Investigative & Anti-Corruption Counsel, General Electric Company
Lorin L. Reisner
~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
New York City Seminar Location
PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
The New York Hilton & Towers, 1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is N495741. Reservations on line at www.hilton.com and enter the same Client File # in the Corporate ID # field to access Practising Law Institute rates.
The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: firstname.lastname@example.org.
PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.
Please check the CLE Calculator above each product description for CLE information specific to your state.
Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys. All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.
Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.